U. S. BOSTON CAPITAL CORPORATION
Adviser information for U. S. BOSTON CAPITAL CORPORATION last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-130044 |
|---|---|
| SEC ERA File Number | 801-130044 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 5251 |
| Legal Entity Identifier | None |
Principal Office
55 OLD BEDFORD ROADSUITE 202
LINCOLN
MA
United States
Monday - Friday, 8:30AM-5:00PM
Tel: 781-259-1144, Fax: 781-259-1166
Websites
Chief Compliance Officer
DEBORAH KESSINGER
55 OLD BEDFORD ROAD
LINCOLN
MA
United States
Tel:
781-676-5965
D*********@***********M
(Full email address available in API data)
Regulatory Contact
ALINA MONISOV
DIRECTOR OF COMPLIANCE
55 OLD BEDFORD ROAD
SUITE 202
LINCOLN
MA
United States
Tel:
781-676-5952
Fax:
781-259-1166
A*******@***********M
(Full email address available in API data)
Industry Affiliates
| PEAR TREE ADVISORS, INC. | Other investment adviser, including financial planners |
| PEAR TREE PARTNERS, LP | Other investment adviser, including financial planners |
| U.S. BOSTON INSURANCE AGENCY, INC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| U.S. BOSTON CORPORATION | Domestic Entity | – | SHAREHOLDER | 12/1971 | > 75% |
| UMPHREY, WILLARD LEE | Individual | – | DIRECTOR | 04/1970 | < 5% |
| OKUROWSKI, LEON | Individual | – | VICE PRESIDENT, DIRECTOR AND CLERK | 05/1971 | < 5% |
| UMPHREY, WILLARD LEE | Individual | U.S. BOSTON CORPORATION | TREASURER AND DIRECTOR | 01/1971 | > 75% |
| OKUROWSKI, LEON K. | Individual | U.S. BOSTON CORPORATION | VICE PRESIDENT, DIRECTOR AND CLERK | 01/1971 | |
| KESSINGER, DEBORAH ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2004 | < 5% |
| UMPHREY, WILLARD LEE | Individual | – | TREASURER/CFO/PRINCIPAL FINANCIAL OFFICER | 10/2006 | < 5% |
| KESSINGER, DEBORAH ANNE | Individual | – | PRESIDENT | 08/2007 | < 5% |
| HUNT, DIANE | Individual | – | PRINCIPAL OPERATIONS OFFICER | 10/2018 | < 5% |